Mobile applications and devices – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Mon, 10 Feb 2025 21:13:41 +0000 en-US hourly 1 https://wordpress.org/?v=6.1.1 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Mobile applications and devices – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 SEC hacker pleads guilty https://uat-phoenix.investmentexecutive.com/news/sec-hacker-pleads-guilty/ Mon, 10 Feb 2025 20:10:08 +0000 https://www.investmentexecutive.com/?p=502097 Private equity giants hit with SEC texting charges https://uat-phoenix.investmentexecutive.com/news/private-equity-giants-hit-with-sec-texting-charges/ Tue, 14 Jan 2025 18:36:40 +0000 https://www.investmentexecutive.com/?p=500183 SEC sanctions Robinhood violations https://uat-phoenix.investmentexecutive.com/news/sec-sanctions-robinhood-violations/ Tue, 14 Jan 2025 18:24:16 +0000 https://www.investmentexecutive.com/?p=500178 CFTC boasts of record year for enforcement https://uat-phoenix.investmentexecutive.com/news/cftc-boasts-of-record-year-for-enforcement/ Thu, 05 Dec 2024 19:01:04 +0000 https://www.investmentexecutive.com/?p=498003 Sweeps buoyed SEC enforcement: report https://uat-phoenix.investmentexecutive.com/news/sweeps-buoyed-sec-enforcement-report/ Fri, 22 Nov 2024 12:00:45 +0000 https://www.investmentexecutive.com/?p=497225 FINRA reviews day-trading rules https://uat-phoenix.investmentexecutive.com/news/finra-reviews-day-trading-rules/ Wed, 30 Oct 2024 17:48:40 +0000 https://www.investmentexecutive.com/?p=495715 SEC targets brokers’ best interests compliance https://uat-phoenix.investmentexecutive.com/news/sec-targets-brokers-best-interests-compliance/ Tue, 22 Oct 2024 00:21:53 +0000 https://www.investmentexecutive.com/?p=495215 Bank turmoil has lessons for regulators https://uat-phoenix.investmentexecutive.com/news/bank-turmoil-has-lessons-for-regulators/ Fri, 11 Oct 2024 17:18:01 +0000 https://www.investmentexecutive.com/?p=494677 Rating agencies settle SEC texting charges https://uat-phoenix.investmentexecutive.com/news/rating-agencies-settle-sec-texting-charges/ Wed, 04 Sep 2024 12:55:38 +0000 https://www.investmentexecutive.com/?p=492058 TD, RBC sanctioned by U.S. regulators https://uat-phoenix.investmentexecutive.com/news/td-rbc-sanctioned-by-u-s-regulators/ Thu, 15 Aug 2024 15:08:08 +0000 https://www.investmentexecutive.com/?p=491163